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Former SEC-registered adviser

A••••••••• A•••••••• L••

Former SEC-registered adviserBethesda, MarylandCRD 167384SEC 801-78659IAPD
Latest filing Mar 22, 2018
First filing on the tape Oct 2, 2013 · 11 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 22, 2018
Jan 7, 20140 then
Employees (5.A)5 as of Mar 22, 2018
Jan 7, 20143 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 22, 2018; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• N•••• N•• · Chief Executive Officercontrol
        since 01/2013 · owns less than 5%
      • L•••••• S•••••••• J••• · Chief C••••••••• Officercontrol
        since 03/2014 · owns less than 5%
      • H•••••• N•••• N•• · Managing Membercontrol
        since 09/2008 · owns 75% or more of W••••• L••• G••••• L••
      • A•••••• D•••••• S••••• · Managing Director
        since 01/2013 · owns less than 5%
      • C•••• J••••• E••••• · Managing Director
        since 01/2013 · owns less than 5%
      Entity owners
      • A••••••••• · Member
        direct · owns 75% or more
      • W••••• L••• G••••• L•• · Member
        indirect · owns 75% or more of A•••••••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Other offices · unset to 0.0
        Mar 28, 2017 to Oct 9, 2017
      • Advisory employees · 3 to 5
        Sep 23, 2014 to Mar 23, 2015
      • Employees · 3 to 5
        Sep 23, 2014 to Mar 23, 2015
      • Accounts · 0.0 to unset
        Oct 7, 2013 to Jan 7, 2014
      • Discretionary RAUM · 0.0 to unset
        Oct 7, 2013 to Jan 7, 2014
      • Non-discretionary RAUM · 0.0 to unset
        Oct 7, 2013 to Jan 7, 2014
      • RAUM · 0.0 to unset
        Oct 7, 2013 to Jan 7, 2014
      Signals
      1 dated events
      • A••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 2, 2013 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026